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SEC Kicks off 2025 By Fining 12 Firms for Record Keeping Failures

UK Banks Face Scrutiny Over WhatsApp, Signaling FCA Off-Channel Comms Crackdown

SEC Fines 12 Firms Over $1.3M for Recordkeeping Failures

Swiss Energy Trader Fined $48 Million for Attempted Market Manipulation

SEC & CFTC’s Recent Enforcement Actions Reaffirm Tough Stance on Off-Channel Communications

Global Regulators Intensify Scrutiny of Market Manipulation Failures

CFTC Fines Australian Bank $500,000 for Spoofing Surveillance Failures

US Regulators Fine a Tier-One Bank $348 Million for Trade Surveillance Gaps

SEC Fines 16 Firms $81 Million In Latest Record Keeping Failures

FINRA Fines Tier-One Bank for Trade Surveillance Failures

FCA Market Watch 76 - Flying and printing

FINRA Releases 2024 Regulatory Oversight Report

Dutch bank fined €26.6m by EU Commission as German bank avoids penalty

Dubai regulator fines private bank for market abuse prevention failures

FCA market watch 75 - Trading during the market soundings procedure

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